Broadridge (BR) Chief Legal Officer nets 1,967 shares after RSU vesting and tax withholding

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Broadridge Financial Solutions Chief Legal Officer exercises RSUs and covers taxes with shares. On April 1, 2026, Hope M. Jarkowski had 2,879 Restricted Stock Units vest and convert into 2,879 shares of Broadridge common stock. To satisfy tax obligations, 913 shares were disposed of at $159.98 per share, leaving 1,967.25 common shares held directly after these transactions.

Insider Trade Summary

2,879 shares exercised/converted

Mixed 3 txns

Insider Jarkowski Hope M.

Role Chief Legal Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Unit	2,879	$0.00	--
Exercise	Common Stock	2,879	$0.00	--
Tax Withholding	Common Stock	913	$159.98	$146K

Holdings After Transaction: Restricted Stock Unit — 0 shares (Direct); Common Stock — 2,880.25 shares (Direct)

Footnotes (1)

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Key Figures

RSUs vested and exercised: 2,879 units/shares Shares withheld for taxes: 913 shares Tax withholding share price: $159.98 per share +1 more

4 metrics

RSUs vested and exercised 2,879 units/shares Restricted Stock Units converting into common stock on April 1, 2026

Shares withheld for taxes 913 shares Tax-withholding disposition of common stock

Tax withholding share price $159.98 per share Value used for 913-share tax-withholding transaction

Shares held after transactions 1,967.25 shares Direct common stock holdings following April 1, 2026 transactions

Key Terms

Restricted Stock Unit, derivative security, tax-withholding disposition, exercise or conversion

4 terms

Restricted Stock Unit financial

"Each Restricted Stock Unit represented one share of Broadridge common stock"

A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.

derivative security financial

"transaction_code_description: Exercise or conversion of derivative security"

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

tax-withholding disposition financial

"transaction_action: tax-withholding disposition"

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

exercise or conversion financial

"transaction_action: derivative exercise/conversion"

Form 4 Insider Transactions: What Each Field Means →

04/02/2026 - 04:10 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Jarkowski Hope M.

(Last)

(First)

(Middle)

5 DAKOTA DRIVE

(Street)

LAKE SUCCESS

NEW YORK

11042

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
BROADRIDGE FINANCIAL SOLUTIONS, INC. [ BR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Legal Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/01/2026		M		2,879	A	$0.0000⁽¹⁾	2,880.25	D
Common Stock	04/01/2026		F		913	D	$159.98	1,967.25	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Unit	$0.0000⁽¹⁾	04/01/2026		M			2,879	04/01/2026⁽¹⁾	⁽¹⁾	Common Stock	2,879	$0.0000⁽¹⁾	0.0000	D

Explanation of Responses:

1. Each Restricted Stock Unit represented one share of Broadridge common stock and on April 1, 2026 2879 Restricted Stock Units vested and converted into an equal number of shares of common stock.

	Maria Allen, Power of Attorney	04/02/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Broadridge (BR) Chief Legal Officer report?

The Chief Legal Officer reported vesting of 2,879 Restricted Stock Units that converted into 2,879 shares of common stock. As part of this event, some shares were later withheld to cover tax obligations, reflecting a routine compensation-related equity transaction.

How many Broadridge (BR) shares were acquired through RSU vesting?

A total of 2,879 shares of Broadridge common stock were acquired when 2,879 Restricted Stock Units vested and converted. Each RSU represented one share, resulting in a one-for-one issuance of common stock as part of equity-based compensation for the Chief Legal Officer.

How many Broadridge (BR) shares were withheld for taxes in this Form 4?

The filing shows 913 shares of Broadridge common stock were disposed of as a tax-withholding transaction. These shares were valued at $159.98 each, covering tax obligations tied to the vesting and conversion of Restricted Stock Units into common stock for the executive.

What is the remaining Broadridge (BR) shareholding after these transactions?

After the RSU vesting and tax-withholding disposition, the Chief Legal Officer directly holds 1,967.25 shares of Broadridge common stock. This figure reflects the net position following issuance of new shares from vested RSUs and the shares used to satisfy related tax liabilities.

Were the Broadridge (BR) insider transactions open-market buys or sales?

The transactions were not open-market trades. They involved the exercise and conversion of Restricted Stock Units into 2,879 shares and a tax-withholding disposition of 913 shares. These events are compensation and tax-related rather than discretionary market buying or selling.